HIOSH DIRECTIVE - Department of Labor and Industrial ...

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HIOSH DIRECTIVE
  DIRECTIVE NO: TED 01-00-020                  EFFECTIVE DATE: October 1, 2016
                                               (Revised March 1, 2021)
  SUBJECT: Mandatory Training Program for HIOSH Whistleblower
  Investigators

                                       ABSTRACT
  Purpose:               This instruction provides State personnel with policy and guidelines
                         for implementing competency-based training programs for HIOSH
                         Discrimination/Whistleblower Investigation personnel.
  Scope:                 This instruction applies HIOSH-wide.
  References:            OSHA Instruction CSP 01-00-004, State Plan Policies and
                         Procedures Manual, September 22, 2015
                         29 CFR Part 1902, State Plans for the Development and
                         Enforcement of State Standards
  Cancellations:         None. Revision of October 1, 2016 version.
  Action Offices:        All compliance branches.
  Originating Agency:    OSHA Directorate of Training and Education and HIOSH.

  Contact:               Nicole Bennett, Program Specialist, HIOSH Administration &
                         Technical Support Branch. 830 Punchbowl St, Rm 425, Honolulu, HI
                         96813.

By and Under the Authority of

Norman Ahu
HIOSH Administrator
Executive Summary
This instruction provides guidance and direction to the Hawaii Occupational Safety and
Health Division (HIOSH) concerning the policies and procedures for training
Discrimination/Whistleblower Investigators. It is essential that Discrimination/Whistleblower
Investigators have the requisite knowledge, skills, capability and varied professional
backgrounds to accomplish HIOSH’s mission of promoting workplaces free from retaliation
due to whistleblowing for Hawaii’s working men and women. In this instruction, HIOSH
provides detailed guidance for training required during a Discrimination/Whistleblower
Investigator’s career, including recommended training that assists the
Discrimination/Whistleblower Investigator in preparing for professional certification exams.
This instruction identifies training paths that provide assistance to the HIOSH division in
managing their training programs.
The goal of this instruction is to assist Whistleblower Investigators and HIOSH management with
direction, guidance and training options that directly contribute to the Whistleblower
Investigator’s ability to represent HIOSH with a high degree of professional expertise. In
addition, the Whistleblower Investigator competency and achieving respected credentials in the
fields of investigation and mediation such as Professional Certified Investigator (PCI)®, Certified
Mediator, and Certified Fraud Examiner.

                              Significant Differences with OSHA

Within HIOSH, senior level compliance officers, i.e. Environmental Health Specialists (EHSs) and
Occupational Safety and Health Compliance Officers (OSHCOs), have primary responsibility for
HIOSH compliance inspections, accident/fatality/catastrophe investigations and
Discrimination/Whistleblower Investigations. Throughout this Directive, the term “Whistleblower
Investigator” will be used to refer to these senior level HIOSH compliance officers.

HIOSH Whistleblower Investigators are assigned by the HIOSH Administrator and SI, using
personnel policies and procedures, and are not directly hired as Whistleblower Investigators. In
some instances, HIOSH may determine its need for focused personnel and will directly hire
individuals as Whistleblower Investigators.

Responsible parties also vary between HIOSH and Federal OSHA. Details on involved parties
and their responsibilities can be found in section IX Organizational Responsibilities.

                                   Significant Changes
 This instruction describes the revised training program for HIOSH Whistleblower
 Investigation personnel. The changes included in the March 1, 2021 revision include:
       ▪       Inclusion of three additional required training classes and a HIOSH-given
               legal aspects training class.
       ▪       Addition, modification, and correction to assigned parties and required
               responsibilities.
       ▪       Removal of information not relevant and outdated to a training directive
               instruction for Whistleblower Investigators.

October 1, 2016                          ABSTRACT - 1
Rev. March 1, 2021
Table of Contents

    I.      Purpose………………………………………………………………………………                                    1
    II.     Scope...……………………………………………………………….……………...                                1
    III.    References……………………………………………………………….……….…                                 1
    IV.     Cancellations...………………………………………………………………………                              1
    V.      Action Offices. …………………………………………………………..….….……                           1
    VI.     State Program Change…………………………………………………………….. 1
    VII.    Goals and Objectives of Whistleblower Investigator Training …….…………...   2
    VIII.   Mandatory Whistleblower Investigator Training………………………………….              3
    IX.     Organizational Responsibilities…………………………………………………….                     4
    X.      Courses for Whistleblower Investigators.…………………………………………. 6
    XI.     Waiver from Required Training Program…………………………………………                    7
    XII.    Time Extensions………………………………………………….…………………                               8
    XIII.   Monitoring the Training Program………………………………………….….……                     8
    XIV. Continuation of Whistleblower Investigator Development………………………             9
    XV.     Evaluation. ……………………………………………………………………..……                               10
    Appendix A.       Recommended Whistleblower Investigator Training Activities……   A-1

October 1, 2016                              i
Rev. March 1, 2021
I.   Purpose
        This instruction provides HIOSH personnel with policy and guidelines for implementing
        competency-based training programs for HIOSH Whistleblower Investigators.
  II.   Scope

 III.   HIOSH-wide. References
        A.    OSHA Instruction CSP 01-00-004, State Plan Policies and Procedures
              Manual, September 22, 2015.
        B.    29 CFR 1902, State Plans for the Development and Enforcement of State Standards.
 IV.    Cancellations
        None. Revision of previous version.
  V.    Action Offices
        A.    Responsible Office. HIOSH Administration and Technical Support Branch.
        B.    Action Offices. Hawaii Occupational Safety and Health Division.
 VI.    State Program Change
         A.   Notice of Intent and Equivalency Required. This instruction describes Hawaii State
              Plan’s response to a Federal OSHA program change which establishes a
              significantly modified technical training program for HIOSH personnel investigating
              violations of Section 11(c) of the OSH Act adopted under Hawaii Revised Statutes
              (HRS) §396-8(e). The requirements of State Plans noted below only relate to
              enforcement of the whistleblower provisions of the occupational safety and health
              statutes that states implement under their State Plans. The provisions of this
              instruction that specifically relate to the enforcement of whistleblower provisions
              other than Section 11(c) do not apply to State Plans. Under 29 CFR 1902.3(h) and
              1956.10(g), State Plans must have a sufficient number of adequately trained and
              qualified personnel for the enforcement of the State Plan. State Plans must have a
              formal documented training program for their Whistleblower Investigators which is
              revised as necessary to reflect current practices. The State Plan training program
              must be at least as effective as the federal program outlined in the Federal OSHA
              Directive (TED 01-00-020) and must result in adequately trained personnel who can
              conduct effective investigations. State Plan training programs are not required to
              utilize OSHA Training Institute (OTI) for course work, but may operate and
              implement state-run training courses.

         B.   Submission of State Plan Policies and Procedures. Within 60 days of the date of
              issuance of this instruction, State Plans must submit a notice of intent indicating if
              the State Plan will adopt, or already has in place, a training program that is either
              identical to or different from the Federal program. State adoption, either identically
              or differently, should be accomplished within six months. If adopting identically, the
              State Plan must provide the date of adoption to OSHA, due within 60 days of
              adoption. If the State Plan adopts or maintains a training program that differs from

October 1, 2016                            PAGE - 1                               TED 01-00-020
Rev. March 1, 2021
the Federal program, the State Plan must either post its difference policies on its
              State Plan website and provide a link to OSHA, or provide OSHA with an electronic
              copy and the contact information for someone within the State Plan who can assist
              the public with obtaining a copy. This action must occur within 60 days of the date
              of adoption. OSHA will post summary information of the State Plan response to this
              Instruction on its website.
 VII.    Goals and Objectives of Whistleblower Investigator Training.
         The goal of this instruction is to assist Whistleblower Investigators and their
         management with training options that will directly contribute to the Whistleblower
         Investigator’s professional expertise
         A.   Competency-Based Curriculum.

              1.     The OSHA Training Institute offers formal training for Whistleblower
                     Investigators with a competency- based approach to curriculum, using the
                     Whistleblower Investigator Functional Competency Model as the guide.

              2.     It is important to note that competence cannot be achieved through formal
                     training alone. Proficiency requires a mix of experiences over time, personal
                     initiative to develop to the highest level of professionalism possible, and
                     structured on-the-job training as well as formal training.

              3. HIOSH and the SI offer training for Whistleblower Investigators using the OSHA
                     Training Institute competency-based approach as well as substitution for
                     course #2710 Legal Concepts for Whistleblower Investigators and HIOSH
                     specific competencies due to state-specific requirements and differences.
         B.   The Training Program. OTI has developed a flexible program that incorporates
              technology-enabled learning, self-study packages, on-the-job experiences and
              formal training to accommodate the varying levels of experience and competence.
              The training program includes basic requirements as well as advanced
              competencies to ensure continued career development.
              Supervisors and Managers are encouraged to incorporate their training priorities
              into the training program.

              1.     Course #1420 Whistleblower Investigation Fundamentals: Each
                     Whistleblower Investigator will be required to complete the #1420
                     Whistleblower Investigation Fundamentals course offered by OTI during their
                     first year of assignment.
              2.     Technical Courses: Each Whistleblower Investigator will be required to
                     complete three additional technical courses during the first three years of
                     employment through OTI and one technical course prepared by HIOSH.
              3.     Federal Webinars: Whistleblower Investigators will be assigned to view
                     webinars as the SI determines a need. These webinars will address various
                     topics provided by OTI and will be available through the Federal training
                     platform.
        C.    Assistant Secretary or HIOSH Administrator Training Requirements. This
              Instruction gives notice that other courses designated as mandatory by OSHA’s
              Assistant Secretary or by the HIOSH Administrator may be added to the
              Whistleblower Investigators training program at any time.

October 1, 2016                           PAGE - 2                               TED 01-00-020
Rev. March 1, 2021
VIII.    Mandatory Whistleblower Investigator Training.
          Figure 1, below, illustrates the recommended training path.

          A.   Course #1420 Whistleblower Investigation Fundamentals Course: This course
               must be completed within the first year of a Whistleblower Investigator’s
               assignment. It is a pre-requisite for all additional courses. During the first year,
               additional courses can be taken at the HIOSH Administrator’s discretion.
          B.   Technical Courses: The HIOSH Administrator will approve the chronological
               order in which technical courses will be taken by the Whistleblower
               Investigators based on the HIOSH division needs and in accord with this
               instruction.

               ▪       Course #1610: Interviewing Techniques for Whistleblower Investigators

               ▪       Course #1630: Written Communication and Report Writing for Whistleblower
                       Investigators

               ▪       Course #2720: Whistleblower Complaint Resolution and Settlement
                       Negotiations

               ▪       Legal Concepts for HIOSH Whistleblower Investigators (Prepared for and
                       given by HIOSH staff and/or designees.)

          1st
                          •   Course #1420: Whistleblower Investigation Fundamentals
         Year

                          •   Course #1610: Interviewing Techniques for Whistleblower
                              Investigators
          2nd             •   Course #1630: Written Communication and Report Writing for
                              Whistleblower Investigators
         & 3rd            •   Course #2720: Whistleblower Complaint Resolution and
                              Settlement Negotiations
         Year             •   Legal Concepts for HIOSH Whistleblower Investigators (Prepared
                              for and given by HIOSH staff and/or designees.)

Figure 1: Recommended Training Path

October 1, 2016                              PAGE - 3                               TED 01-00-020
Rev. March 1, 2021
IX.    Organizational Responsibilities.
          A.   Department of Labor & Industrial Relations, HIOSH Division. DLIR-HIOSH shall
               support the training program, as appropriate, by providing resources, supplying
               current information on the status of HIOSH programs, statutes, regulations, and
               directives, ensuring program consistency, and auditing the HIOSH training programs.
          B.   The HIOSH Administrator. The HIOSH Administrator will ensure to the extent
               possible that funding is budgeted and available for Whistleblower Investigator
               personnel to complete all mandatory training. Note that other courses designated as
               mandatory by the HIOSH Administrator will be included in the Whistleblower
               Investigator’s training program, thus requiring additional funding support.
               The HIOSH Administrator shall direct the execution of the HIOSH training and
               education program in accord with HIOSH policy.
               Specifically, the HIOSH Administrator will:
               1.     Approve courses in the Whistleblower Investigator’s training path, including
                      travel and any additional approval requirements.
               2.     Grant waivers and extensions in accord with the procedures explained in
                      Sections XI and XII of this instruction.
               3.     Determine with the SI, in accordance with personnel policy, the assignment of
                      CSHOs to the Whistleblower Investigator position to initiate training
                      requirements within this instruction.
          C.   The Administration and Technical Support Branch (ATS). The ATS Manager will
               support the training program as appropriate, by providing policy guidance, subject
               matter expertise through Federal and State staff, or Whistleblower Investigator field
               personnel, and current information on the status of the HIOSH programs, statutes,
               regulations and directive. Additionally, the ATS Manager will assist in assuring
               program consistency and in the auditing of the HIOSH training programs, if
               requested.
               The ATS Manager shall serve as a focal point for HIOSH, assisting the HIOSH
               Administrator and SI in coordinating and managing HIOSH’s training and education
               program. The ATS Manager shall assist the HIOSH Administrator and SI to ensure
               the successful implementation of the training program with Whistleblower
               Investigators as outlined in this instruction. Specifically, the ATS Manager shall:
               1.     Provide guidance and assistance to Whistleblower Investigators concerning
                      information contained in this instruction as well as Department of Labor &
                      Industrial Relations (DLIR) and HIOSH training policies and procedures.
               2.     Implement the HIOSH training and education program.
               3.     Process training requests, maintain training records as back-up for the SI,
                      and provide registration information to Managers, the SI, and Whistleblower
                      Investigators.
               4.     Evaluate and monitor all records of training.
          D.  The HIOSH Supervisory Investigator (SI). The SI shall be responsible for
              educating and training HIOSH personnel in the skills and knowledge required to
              perform their duties. The SI shall also be responsible for ensuring the professional
              development of the Whistleblower Investigators they supervise.
              Responsibilities Include:
October 1, 2016                            PAGE - 4                               TED 01-00-020
Rev. March 1, 2021
1.     Planning, developing and conducting HIOSH technical and specialized
                     training courses and seminars.
              2.     Conducting needs assessments and gap analyses to identify training
                     needs.
              3.     Maintaining and updating competency-based training information on the
                     HIOSH share drives.
              4.     Communicating new and updated OTI course catalog information to
                     Whistleblower Investigators.
              5.     Conducting evaluations of training courses and programs, including HIOSH
                     specific training courses and programs and assessing the applicability of
                     OTI applicable courses.
              6.     Annotating the Whistleblower Investigator training records to reflect waived
                     required training and time extensions for required training.
              7.     Communicating the need for changes in HIOSH directives, laws and
                     standards and communicating granted waivers and time extensions to the
                     ATS Manager.
              8.     Preparing reports and responses to requests for the HIOSH Administrator
                     when requested and for quarterly status meetings on courses that have
                     been waived and time extensions granted.
              9.     Ensure the professional development of Whistleblower Investigators in
                     accord with this instruction and Appendix A.
              10.    Identify and document through an Individual Development Plan (IDP) the
                     training needs of Whistleblower Investigators.
              11.    Provide guidance consistent with the IDP process to meet the objectives
                     outlines in this instruction.
              12.    Review training progress with each Whistleblower Investigator during the
                     annual performance reviews.
              13.    Assign, as needed, experienced personnel to assist in the on-the-job
                     training of newly hired Whistleblower Investigators.
              14.    Assess and document Whistleblower Investigator’s abilities, send waiver
                     requests as per section X.C. and requests for time extensions as per
                     section XI.B. to the HIOSH Administrator for approval.

         E.   The OSHA Training Institute. The OSHA Training Institute Director shall be
              responsible for the scheduling and delivery of OTI Whistleblower Investigator
              training. Specific responsibilities include:
              1.     Overseeing and conducting courses and seminars for Federal and State
                     Whistleblower Investigators, Regional and National Office staff and other
                     Federal Agency personnel.
              2.     Participating in the design and development of technical and specialized
                     courses, including development of course materials, detailed lesson plans,
                     and other educational aids.

         F.    Whistleblower Investigator: The Whistleblower Investigator has the responsibility to
              perform to the best of their ability in all training programs. Specifically, the
              Whistleblower Investigator shall:
              1.     Discuss performance and training progress with the SI.
              2.     Participate in the planning of training activities.
              3.     Fully attend, participate in, and complete all assigned training courses,
                     seminars and other events.

October 1, 2016                             PAGE - 5                             TED 01-00-020
Rev. March 1, 2021
X.   Courses for Whistleblower Investigators.
         A.   Required Training. In the interest of nationwide consistency, Whistleblower
              Investigators will attend all of the required courses outlined in this instruction
              offered by the OSHA Training Institute. The information provided in this
              section is intended to assist the HIOSH Administrator in determining
              equivalency when issuing waivers. The ATS Manager will offer up-to-date
              information on course descriptions and prerequisites to the HIOSH
              Administrator and SI.

         B.   Blended Courses. Blended courses include at least one web-based training
              requirement plus an instructor-led training requirement. The web-based
              training must be completed prior to attending the instructor-led session.
              There is no waiver process or equivalent to completing the online
              prerequisite of an OTI course. The strict requirement is due to the close link
              between the training offered online and the subsequent classroom (i.e.,
              instructor-led) training.

         C.   Course Sequence. The #1420 Whistleblower Investigator Fundamental
              course must be completed in year one of the Whistleblower Investigator
              training program. It is recommended that the courses listed below should be
              completed in a sequence optimal to attaining professional development goals
              and at the discretion of the HIOSH Administrator, or designee.

              1.     Course #1420: Whistleblower Investigation Fundamentals Course.
                     This blended course covers the fundamental of conducting
                     whistleblower investigations, with an emphasis on Section 11(c) of the
                     Occupational Safety and Health Act (OSH Act). Whistleblower
                     Investigators will learn to conduct intakes and screenings, plan and
                     prepare for investigations, conduct opening conferences, collect
                     evidence, analyze information, conduct closing conferences, and
                     prepare basic memoranda, letters and reports.

              2.     Course #1610: Interviewing Techniques for Whistleblower
                     Investigators. The goal of this course is to provide a practical guide
                     for interviewing. The specific topics include interview preparation,
                     nonverbal communication, types of interviewees, multi-cultural
                     interviewing, empathy, and active listening. This course requires role
                     playing and students will be assessed on the application of
                     techniques learned. The role playing will focus on one-on-one
                     controlled interviewing situations.

              3.     Course #1630: Written Communication and Report Writing for
                     Whistleblower Investigators. This course is designed to cover
                     business writing, evidentiary documentation, and written analysis.
                     Students will learn to effectively communicate complex concepts and
                     ideas in writing and in a manner that is appropriate for the intended
                     audience. Students will be coached to produce documents that
                     require minimal editing and are technically sound, accurate, thorough,
                     logical, concise, and completed in a timely manner.

              4.     Course #2720: Whistleblower Complaint Resolution and Settlement
                     Negotiations. This course covers complaint resolution policies,

October 1, 2016                             PAGE - 6                                 TED 01-00-020
Rev. March 1, 2021
programs, and techniques related to whistleblower statute
                     enforcement. An emphasis will be placed on strategies to successfully
                     resolve complaints throughout the investigative process, including the
                     Alternative Dispute Resolution (ADR) process, Complainant’s right to
                     withdraw, and kick-out provisions. Students will learn to negotiate and
                     prepare OSHA settlement agreements to include preserving public
                     policy, including calculation of appropriate damages, and review and
                     evaluate third-party agreements in accord with established guidelines.

             5.      Course #2710: Legal Concepts for Whistleblower Investigators. The
                     course introduces the student to frequently encountered federal
                     statutes (e.g. Occupational Safety and Health Act adopted under HRS
                     396). The instruction includes the essential elements of conducting
                     investigations, including interviewing, analyzing information related to
                     investigations, legal and regulatory sufficiency, and organizing and
                     documenting information.

             6.      Federal Statute Webinars. The webinars on the statutes enforced by
                     the OSHA Whistleblower Protection Programs will emphasize unique
                     attributes of the statutes with respect to Whistleblower investigations.
                     The Federal Statute webinars are non-mandatory and can be
                     assigned by the SI or accessed by the Whistleblower Investigator to
                     review or learn about particular statutes. The webinars will be
                     reviewed periodically to maintain accurate content. The webinars will
                     present statutes in the categories of:

                     a.     Transportation Statutes Webinar

                     b.     Environmental Statutes Webinar

                     c.     Product-Related Statutes Webinar

                     d.     Financial Statutes Webinar

                     e.     Energy Statutes Webinar

                            * Additional webinars will be created when new whistleblower
                            statutes authorizing DOL enforcement are enacted.
  XI.   Waiver from Required Training Program.
        A.   Waiver Conditions. The training program outlined in this instruction is required to
             be completed during the first three years of a Whistleblower Investigator's career.
             The SI is responsible for submitting a request in writing for waiver from
             requirements listed within the training directive. Waivers shall be used rarely and
             shall be granted only in exceptional circumstances.

        B.   Assessment and Documentation. The SI must assess and document that the
             Whistleblower Investigator has demonstrated mastery of the tasks listed in the
             course objectives for the course being waived. After an assessment has been
             made, waiver requests shall be submitted by the SI to the HIOSH Administrator.
             The waiver request will document why the Whistleblower Investigator does not
             need to attend the specified course. The documentation will include how the
             Investigator has acquired the levels of knowledge, skills and abilities taught in the
October 1, 2016                            PAGE - 7                               TED 01-00-020
Rev. March 1, 2021
course for which the waiver is being requested. The documentation shall also
              indicate that the Investigator has institutional understanding of HIOSH-specific
              policies and procedures. For example, criteria may include experience as a
              Whistleblower Investigator with an OSHA Federal or other State Plan agency.

         C.   Waiver Requests. Only the HIOSH Administrator can grant a waiver. The HIOSH
              Administrator shall respond to waiver requests in writing. Copies of responses
              approving waiver requests shall be provided to the ATS Manager.

         D.   Training Record Annotated. The SI and ATS Manager shall annotate the
              Whistleblower Investigator’s training record to reflect courses waived by the
              HIOSH Administrator.

 XII.    Time Extensions.
         The time requirements for completing required courses specified in this instruction
         must be met. Only the HIOSH Administrator can grant a time extension based on
         extenuation circumstances.

         A.   Time Extension Conditions. If there are circumstances that prevent the
              Whistleblower Investigator from completing the required courses, the HIOSH
              Administrator can extend the time for completion. Time extensions may not
              exceed 12 months.

         B.   Time Extension Requests. Time extensions shall be submitted in writing by the SI
              to the HIOSH Administrator. Time extension requests shall include the reason(s)
              additional time is needed, the amount of time requested and the course(s) that will
              be completed during the requested time extension.

         C.   Time Extension Approvals. The HIOSH Administrator shall respond to the time
              extension request in writing. Copies of the response(s) approving time extension
              requests shall be provided to the ATS Manager.

         D.   Training Record Annotated. The SI and ATS Manager shall annotate the
              Whistleblower Investigator’s training record to reflect the extension of time.

 XIII.   Monitoring the Training Program.
         Monitoring the Whistleblower Investigator’s progress is critical to ensure the success of
         the training program. Monitoring determines the benefits and effectiveness of the training
         received and evaluates the ability of the Whistleblower Investigator to achieve training
         goals and objectives.
         A.   The HIOSH Administrator . The HIOSH Administrator, or their designee shall:
              1.     Ensure that each Whistleblower Investigator has completed the
                     necessary prerequisites before attending mandatory HIOSH training
                     courses.
              2.     Review the Whistleblower Investigator’s performance of recommended
                     self-instruction (SI) and on-the-job training (OJT) assignments, such as
                     those listed in Appendix A.
              3.     Conduct a review with the Whistleblower Investigator following each
                     recommended SI and OJT activity This review identifies areas requiring
October 1, 2016                          PAGE - 8                               TED 01-00-020
Rev. March 1, 2021
further training.
              4.     Determine when the Whistleblower Investigator has sufficient experience
                     to participate fully in complaint investigation; the OJT review may be
                     discontinued when this has been effectively accomplished.
 XIV.   Continuation of Whistleblower Investigator Development
        A.    Continuing Education. Non-mandatory. After year three the Whistleblower
              Investigators should continue to develop the knowledge and skills necessary to
              conduct investigations. There are many training opportunities outside traditional
              OSHA Training Institute courses, including but not limited to:
              1.     Local community college and university courses related to grammar,
                     writing, and financial, business and environmental sectors report writing
                     and business operations.
              2.     Online courses offered through Learning Link and private sector
                     training groups.
              3.     Technical training sessions at conferences related to whistleblower protection.
              4.     Public sector training institutes that offer courses related to whistleblower
                     investigation.
              5.     Independent study on topics related to whistleblower investigation.
                     The Whistleblower Investigator should be provided time to attend training
                     sessions and/or conduct independent study on materials related to
                     investigations as identified in their Individual Development Plan (IDP).
         B.   Role of Individual Development Plans. Mandatory. An Individual Development
              Plan (IDP) is a dynamic plan that helps the Whistleblower Investigator achieve
              organizational and career goals by identifying progress. IDPs are required and
              must be updated annually. An IDP can help a Whistleblower Investigator:
              1.     Acquire knowledge and skills required to achieve the functional
                     competencies of a Whistleblower Investigator.
              2.     Build expertise as a HIOSH Whistleblower Investigator.
              3.     Continue professional development throughout their career.
         C.   IDPs for the First Three-Year Period. The IDP should reflect:
              1.     Mandatory training required during the first three-year period as outlined in
                     this instruction.
              2.     HIOSH training requirements.
              3.     Other developmental training as determined by the HIOSH Administrator. For
                     example:
                     a.      Supplemental training that includes formal and/or informal mentoring
                             by senior personnel and/or Whistleblower Investigators with
                             specialized experience.
                     b.      Participating in investigations involving various statutes or legal
                             complexity in a variety of business sectors.
         D.   IDPs Developed after the Three-Year Period.
              1.     The IDP should follow the guidance outlined in the Hawaii Government
                     Employee Association (HGEA) contract for Unit 13, Article 15 Training
October 1, 2016                          PAGE - 9                              TED 01-00-020
Rev. March 1, 2021
Opportunities.
              2.     An IDP helps the Whistleblower Investigator improve performance and
                     prepare for more responsible work in accord with their abilities, interests and
                     needs of the HIOSH Division.
         E.   Professional Certification. Non-Mandatory. The course required for Whistleblower
              Investigator’s first year provides a foundation for professionalism and proficiency.
              The required technical courses provide a higher level of knowledge and skill.
              Professional certification can further enhance the Whistleblower Investigator’s
              knowledge in the technical areas of whistleblower investigations.
              The Professional Certified Investigator (PCI)® credential provides demonstrable proof
              of an individual's knowledge and experience in case management, evidence
              collection, and preparation of reports and testimony to substantiate findings. Those
              who earn the PCI are ASIS International board-certified investigators
              (www.asisonline.org).
              The National Association of Certified Mediators provides certification for individuals
              who want to focus on fundamental and practical techniques of dispute resolution,
              arbitration and mediation (www.mediatorcertification.org).
              The Association of Certified Fraud Examiners offers the Certified Fraud Examiners
              (CFE) Program. The CFE denotes expertise in fraud prevention, detection and
              deterrence (www.acfe.com).

 XV.    Evaluation
         Staff from the Administration & Technical Support Branch (ATS), along with the SI,
         evaluates the effectiveness of the training program for HIOSH personnel.

         A.   Established evaluation criteria include:
              1.     Maintaining this training directive if it is determined that the current training
                     program for Whistleblower Investigators needs to be altered to be more
                     effective.
              2.     Maintaining this training directive if a revised directive is released by
                     Federal OSHA that requires review and change.
              3.     Meeting or exceeding HIOSH’s grant goals that include providing training
                     for staff throughout the grant year. Including the annual Performance
                     Appraisal System (PAS)

October 1, 2016                            PAGE - 10                                TED 01-00-020
Rev. March 1, 2021
Appendix A. Recommended Whistleblower Investigator Training Activities

 Background and Description of Appendix A. This Appendix is recommended as a guideline for
 the Supervisory Investigator.
 The OSHA Training Institute (OTI) offers formalized training for Whistleblower Investigators
 through its competency-based approach to curriculum. As a professional, the Whistleblower
 Investigator will acquire additional knowledge, skills, abilities and behaviors through other sources
 such as Self-Instruction (SI), On-the-Job Training (OJT) and HIOSH conducted training which
 enhance the formal training a newly-assigned Whistleblower Investigator receives at OTI and
 HIOSH. This Appendix offers recommendations for both SI and OJT.
 Time allotted to accomplish SI and OJT assignments should be compatible with the newly-
 assigned Whistleblower Investigator’s current knowledge, skill, and experience. The Supervisory
 Investigator should verity the Whistleblower Investigator’s successful completion of SI and OJT
 assignments. Training assignments may also be supplemented by other comparable task
 assignments deemed appropriate and/or equivalent by the Supervisory Investigator.

  Type of                                                                                     Date
  Activity                                   Activity Description                          Completed
                                                                                           & Initials1
  OJT                 Identify office administrative procedures

  SI                 Review Section 396-8(e), Hawaii Revised Statutes – the HIOSH
                     Discrimination/Whistleblower Law
                     Review Chapter 12-57, Hawaii Administrative Rules,
                     “Discrimination Against Employees Exercising Rights Under
                     Chapter 396, Hawaii Revised Statutes.”
                     Review State of Hawaii ethics rule/regulations and
                     complete ethics training course.
  SI                 Review the Whistleblower Investigator Training and Education
                     Directive.
  SI/OJT             Review and become familiar with the HIOSH Discrimination
                     Investigation Manual.

  OJT                Describe and apply the elements of a prima facie case and
                     understand the law on timeliness of complaints.
  SI                 Review past whistleblower case files
  OJT                Investigate Resources and Tools
                         •   The DWPP website, www.whistleblowers.gov – for
                             statutes, regulations, instructions and cases relevant to
                             OSHA’s 11(c) whistleblower cases

 1 Initials   of both supervisor and CSHO required.

October 1, 2016                                   PAGE - 11                              TED 01-00-020
Rev. March 1, 2021
Type of                                                                                   Date
  Activity                                  Activity Description                         Completed
                                                                                         & Initials1
  OJT                Accompany Senior level CSHO (EHS IV or OSHCO IV) on a
                     discrimination/whistleblower investigation to learn:
                         •   Complaint intake and screening
                         •   Opening with the complainant
                         •   Docketing/preparation and sending letters
                         •   Preparation for investigation
                         •   Opening with Respondent
                         •   Interviews
                         •   Request for data/documents
                         •   Reviewing Respondent’s position statement
                         •   Complainant’s rebuttal
                         •   Determining damages in order to determine appropriate
                             relief
                         •   Compose Report of Investigation (ROI)
                         •   Closing with Respondent and Complainant
                         •   Drafting Administrator’s Determination Notice and Order
                             (DNO)
                         •   Creating, organizing, and maintaining a case file
                         •   Settlement and negotiation
                         •   Redacting documents prior to sending case to contest
                             and for requests for information.
  OJT                Conduct intake and screening of complaints
  OJT                Accompany Senior Level Whistleblower Investigator at least one
                     more time, taking on greater responsibility with the case
  OJT                Conduct a whistleblower investigation independently.

 1 Initials   of both supervisor and CSHO required.

October 1, 2016                                  PAGE - 12                             TED 01-00-020
Rev. March 1, 2021
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